Nicholas Kelly

Watch for changes

Where they hold approval

Firms where this individual holds — or has held — an FCA-approved role.

Sandringham Financial Partners Limited (no longer approved here)
FRN 581304
- CF30 Customer (26 Jul 2017 to 17 Apr 2019)
Quilter Financial Planning Solutions Limited (no longer approved here)
FRN 184591
- CF30 Customer (1 Jan 2013 to 22 Nov 2013)
Legal and General Assurance Society Limited (no longer approved here)
FRN 117659
- CF22 Investment Adviser (Trainee) (14 Jul 2005 to 14 Jul 2005)
Legal & General (Unit Trust Managers) Limited (no longer approved here)
FRN 119273
- CF22 Investment Adviser (Trainee) (14 Jul 2005 to 14 Jul 2005)

Updates to this individual's record on the FCA register.

No changes recorded yet.

A quick guide to the terms on this page.

The FCA: The Financial Conduct Authority is the UK's regulator for banking, lending, insurance, investments and payments. Senior staff at any authorised firm have to be approved by the FCA personally.
Approved individual: Someone the FCA has personally signed off to hold a senior role at an authorised firm — directors, compliance officers and similar. They're held accountable for the firm's conduct.
Controlled functions: The specific senior roles the FCA approves people to hold, like 'Compliance oversight' or 'Money laundering reporting'. Each approval is tied to a particular firm.
IRN: Individual Reference Number — the unique ID the FCA assigns to each approved person. It stays the same as they move between firms.

Information on this page is sourced from the official FCA register.